ACI FinOps for broker dealers

ACI’s Jay Gettenberg Is a Panelist for Upcoming Foundation for Accounting Education Discussion of Post-COVID Regulatory Issues

ACI Managing Partner, Jay Gettenberg, will join a teleconference of accounting professionals on May 5. They will discuss regulatory issues and considerations the securities industry faces in a post-COVID economy.

The 70-minute panel, sponsored by the Foundation for Accounting Education, will be geared toward providing broker dealer FINOPS and auditors with the latest information available. FinOps and auditors will share their experiences from auditing in the COVID environment and discus various regulatory topics including the latest news from the SEC, FINRA and the PCAOB. The panel is scheduled to begin at 2:05 p.m.

The panel will be part of the foundation’s daylong Broker/Dealer Conference Webcast, running from 8:30 a.m. to 5 p.m. The conference is designed for CPAs who service the broker/dealer industry, financial principals in the securities industry, and representatives of regulatory agencies. Attendees can receive 6 Specialized Knowledge/Industries (NYSED) credits, 1 Accounting (NYSED) credit, and 1 Auditing (NYSED) credits. For more details and to register, click here:  

Gettenberg, a member of the FINRA Small Firm Advisory Committee (SFAC), has participated in previous FAE panels, including a Broker/Dealer Tech session in December and one focusing on navigating through COVID times in July.

ACI will continue to provide updates on our Resources page on current news regarding regulations and the industry.